Reports and Investigations

Our preference is to be engaged ahead of any adverse action or regulatory intervention however sometimes things go wrong, and we have acted in various capacities during formal investigations.

Reports and investigations are sometimes carried out at the direct request of a client when an external, objective analysis from a competent and experienced professional is necessary.

We are experienced in dealing with regulatory action and have acted as a reporting professional in various JFSC interventions (‘article 32 investigations’) following issue of a formal Notice as well as assisting with Directions or managing restrictions and production orders. Early action is important to ensure scoping is appropriate and proportionate.

We also have significant experience and success assisting with management and response to article 32 investigations through challenge and rebuttal of reporting professional findings as well as supporting dialogue with the regulator. It is vital to address findings in early course as the volume of documents following such investigations can be overwhelming - particularly when also dealing with day-to-day tasks.

Our experience as a reporting professional also extends internationally and we have been involved in a major AML investigation applying relevant jurisdictional rules and regulations.